Patrick M. Sweeney & Associates provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, tax planning, and tax preparation. Financial planning was provided to 1–10 clients last fiscal year.
Patrick M. Sweeney & Associates reports 86 clients. They include 55 high-net-worth individuals and 31 individual clients. Of its assets, 99.5% ($251M across 303 accounts) are managed with discretion; $1.19M across 2 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 36% | 6% |
| High-net-worth individuals | 64% | 94% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 31 | $14.5M | 5.8% | $469K |
| High-net-worth individuals | 55 | $238M | 94.2% | $4.33M |
| Total | 86 | $253M | 100% | $2.94M |
- Clients
- 31
- Regulatory AUM
- $14.5M
- AUM share
- 5.8%
- Avg. per client
- $469K
- Clients
- 55
- Regulatory AUM
- $238M
- AUM share
- 94.2%
- Avg. per client
- $4.33M
Total
- Clients
- 86
- Regulatory AUM
- $253M
- AUM share
- 100%
- Avg. per client
- $2.94M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Patrick M. Sweeney & Associates is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 3 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Financial plans are priced by the complexity of the client's situation; the minimum fee is $800 and can be negotiated.
- Hourly Planning
- Limited-scope hourly planning engagements are billed at $200 per hour; follow-on implementation work is billed at $200 per hour.
- Tax Preparation
- Tax preparation separate from an Advisory Service Agreement is billed at a flat rate agreed upon by the client.
Patrick Sweeney owns 75% or more of Patrick M. Sweeney & Associates. The leadership team of Patrick M. Sweeney & Associates includes President Patrick Sweeney. It has 2 employees.
Leadership
- Patrick SweeneyPresident, Chief Compliance Officer
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- John Geoffrey Ferguson
- Jack Marshall Hallier
- Patrick Michael Sweeney
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Patrick M. Sweeney & Associates, Inc
Patrick Sweeney
Control person · since April 2001
Patrick M. Sweeney & Associates’ regulatory assets grew 1.8× from $137M (March 2021) to $253M (March 2026); clients rose from 63 to 86 and employees were 2 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $253M | 86 | 2 | 2 |
| March 2025 | $217M | 83 | 3 | 1 |
| February 2024 | $185M | 79 | 3 | 1 |
| March 2023 | $137M | 67 | 2 | 1 |
| March 2022 | $161M | 67 | 2 | 1 |
| March 2021 | $137M | 63 | 2 | 1 |
Besides its headquarters, Patrick M. Sweeney & Associates has 1 office, with 2 listed addresses in Illinois.
Illinois · 2 listed addresses
- 900 Technology Way, Suite 260, LibertyvilleHQ
- 21 S Evergreen Ave, Arlington Heights
Contact and registration details
- Legal name
- Patrick M. Sweeney & Associates, Inc
- Headquarters
- 900 Technology Way, Suite 260, Libertyville, IL 60048
- Website
- patrickmsweeney.com
- Phone
- 847-277-7771
- SEC file
- 801-118910
- Founded
- 2001
- Structure
- Illinois corporation
- Fiscal year end
- December
Patrick M. Sweeney & Associates uses Charles Schwab ($253M) as custodian for its separately managed accounts. Patrick M. Sweeney & Associates does not have custody of client assets.
- Charles SchwabThe Charles Schwab Corporation · Westlake, TX · $253M100%
At year end, Patrick M. Sweeney & Associates’ separately managed accounts were mostly in stocks (63%) and funds (15%). Its reported 13F holdings for the quarter ended 30 June 2026 total $174M across 172 positions; the largest are Apple Inc. (6.1%), Bank OF Amer Corp. (3.9%) and Abbott Laboratories (3.9%).
What the accounts hold
- Stocks63%
- Funds15%
- Bonds8%
- Investment grade corporate bonds6%
- State and local bonds2%
- Cash14%
Reported 13F holdings
- $174M
- Reported 13F value
- 172
- Positions
- 34.5%
- In the 10 largest
- +11.6%
- Value vs. prior quarter
- Apple Inc.6.1%
- Bank OF Amer Corp.3.9%
- Abbott Laboratories3.9%
- Abbvie Inc.3.8%
- JPMORGAN Chase & CO3.7%
- Merck & CO Inc.3.6%
- Alphabet Inc. · Cap Stk CL C3.0%
- Microsoft Corp.2.2%
- Caterpillar Inc.2.2%
- Eli Lilly & CO2.1%
Together, the ten largest are 34.5% of reported value.
How many clients does Patrick M. Sweeney & Associates have?
Patrick M. Sweeney & Associates has 86 clients and manages $253 million for them, as of March 2026. They include 55 high-net-worth individuals and 31 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026
What services does Patrick M. Sweeney & Associates offer?
Patrick M. Sweeney & Associates provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, tax planning, and tax preparation.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Patrick M. Sweeney & Associates use?
Patrick M. Sweeney & Associates’ separately managed account assets are held at The Charles Schwab Corporation (Westlake, TX), with $253M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026
How many financial advisors does Patrick M. Sweeney & Associates have?
Patrick M. Sweeney & Associates has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Patrick M. Sweeney & Associates invest in?
At the end of its last fiscal year, Patrick M. Sweeney & Associates’ separately managed accounts held 63% exchange-traded equities, 15% registered funds (mutual funds, ETFs, BDCs), 14% cash and equivalents, 6% investment grade corporate bonds and 2% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Patrick M. Sweeney & Associates?
Patrick M. Sweeney & Associates’ direct owner is Patrick Sweeney (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 25 March 2026
How does Patrick M. Sweeney & Associates get paid?
Patrick M. Sweeney & Associates is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Patrick M. Sweeney & Associates?
Patrick M. Sweeney & Associates’ main office is at 900 Technology Way, Suite 260, Libertyville, IL 60048. Its phone number is 847-277-7771. Its website is patrickmsweeney.com.